Vault-13

ARK ETF TR ARKK

INNOVATION ETF · ETP · CUSIP 00214Q104 · ISIN US00214Q1040

595 institutional holders -44 vs Q1 2024
56,696,82156.7m shares reported held*
$2.5bnreported value*
41 new 112 added 288 reduced 88 sold out net sold ≈ $695.1m (-16.2m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($4.4m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $44.13. Options: 40 managers hold calls ($852.2m notional), 39 hold puts ($801.4m).

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

0250500750Q3 22: 622Q4 22: 597Q1 23: 625Q2 23: 603Q3 23: 598Q4 23: 675Q1 24: 639Q2 24: 595595Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 2022622
Q4 2022597
Q1 2023625
Q2 2023603
Q3 2023598
Q4 2023675
Q1 2024639
Q2 2024595

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
4000400Q4 22: 193 bought or addedQ4 22: 372 cut or sold outQ4 22Q1 23: 282 bought or addedQ1 23: 279 cut or sold outQ2 23: 213 bought or addedQ2 23: 302 cut or sold outQ2 23Q3 23: 223 bought or addedQ3 23: 290 cut or sold outQ4 23: 248 bought or addedQ4 23: 301 cut or sold outQ4 23Q1 24: 195 bought or addedQ1 24: 362 cut or sold outQ2 24: 153 bought or addedQ2 24: 376 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 2022193372
Q1 2023282279
Q2 2023213302
Q3 2023223290
Q4 2023248301
Q1 2024195362
Q2 2024153376

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$1bn$2bn$3bnQ3 23 calls: $791.2mQ3 23 puts: $1.2bnQ3 23P/C 1.55Q4 23 calls: $1.9bnQ4 23 puts: $2.2bnQ4 23P/C 1.13Q1 24 calls: $866.9mQ1 24 puts: $1.0bnQ1 24P/C 1.16Q2 24 calls: $852.2mQ2 24 puts: $801.4mQ2 24P/C 0.94
Numbers
QuarterCallsPutsP/C
Q3 2023$791.2m$1.2bn1.55
Q4 2023$1.9bn$2.2bn1.13
Q1 2024$866.9m$1.0bn1.16
Q2 2024$852.2m$801.4m0.94

Biggest buyers

JPMORGAN CHASE & CO Added +5,845,056+5.8m
BNP PARIBAS FINANCIAL MARKETS Added +1,210,813+1.2m
D. E. Shaw & Co., Inc. Added +774,315+774.3k
JANE STREET GROUP, LLC Added +579,282+579.3k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added +426,529+426.5k
BANK OF AMERICA CORP /DE/ Added +401,143+401.1k
Qube Research & Technologies Ltd Added +359,040+359.0k
ROYAL BANK OF CANADA Added +309,641+309.6k
COWEN AND COMPANY, LLC Added +251,918+251.9k
Clear Street Derivatives LLC Added +174,082+174.1k

Biggest sellers

MORGAN STANLEY Reduced -15,414,123-15.4m
TWO SIGMA ADVISERS, LP Sold out -2,994,843-3.0m
TWO SIGMA INVESTMENTS, LP Sold out -1,523,400-1.5m
CITADEL ADVISORS LLC Reduced -706,386-706.4k
LPL Financial LLC Reduced -426,130-426.1k
Walleye Capital LLC Reduced -338,628-338.6k
Global Assets Advisory, LLC Sold out -311,571-311.6k
OSAIC HOLDINGS, INC. Reduced -299,870-299.9k
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC Reduced -285,649-285.6k
KLINGENSTEIN FIELDS & CO LP Reduced -261,515-261.5k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $214.0m4.9m shares
CITADEL ADVISORS LLC Added $181.8m4.1m shares
JANE STREET GROUP, LLC Added $105.7m2.4m shares
BlackRock Inc. New $46.1m1.1m shares
IMC-Chicago, LLC Added $44.7m1.0m shares
Walleye Trading LLC Added $25.0m569.1k shares
WOLVERINE TRADING, LLC Added $23.9m543.9k shares
BW Gestao de Investimentos Ltda. New $22.0m500.0k shares
Squarepoint Ops LLC Added $20.5m466.4k shares
Cubist Systematic Strategies, LLC Added $19.7m449.2k shares

Biggest puts

JANE STREET GROUP, LLC Added $184.6m4.2m shares
CITADEL ADVISORS LLC Reduced $169.5m3.9m shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $128.2m2.9m shares
IMC-Chicago, LLC Added $40.5m920.8k shares
GOLDMAN SACHS GROUP INC Reduced $30.8m700.0k shares
Squarepoint Ops LLC Added $28.5m647.8k shares
BW Gestao de Investimentos Ltda. Added $22.0m500.0k shares
Walleye Trading LLC Added $21.9m497.5k shares
Walleye Capital LLC Reduced $20.7m471.4k shares
GTS SECURITIES LLC Reduced $18.7m426.2k shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Holders, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 JPMORGAN CHASE & CO 0.02% of their portfolio NEW YORK, NY 9,030,6649.0m $396.9m $396.9m 0.02% Added +5.8m +5,845,056
2 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 4,286,1634.3m $188.4m $188.4m 0.01% Reduced -15.4m -15,414,123
3 LPL Financial LLC 0.06% of their portfolio FORT MILL, SC 2,688,9292.7m $118.2m $118.2m 0.06% Reduced -426.1k -426,130
4 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 2,638,3302.6m $116.0m $116.0m 0.01% Added +401.1k +401,143
5 GOLDMAN SACHS GROUP INC 0.02% of their portfolio NEW YORK, NY 2,611,4862.6m $114.8m $114.8m 0.02% Added +35.6k +35,577
6 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.17% of their portfolio BALA CYNWYD, PA 2,171,1642.2m $95.4m $95.4m 0.17% Added +426.5k +426,529
7 CITIGROUP INC 0.09% of their portfolio NEW YORK, NY 2,137,6682.1m $94.0m $94.0m 0.09% Reduced -72.2k -72,193
8 WELLS FARGO & COMPANY/MN 0.02% of their portfolio SAN FRANCISCO, CA 2,030,1702.0m $89.2m $89.2m 0.02% Added +78.3k +78,269
9 BNP PARIBAS FINANCIAL MARKETS 0.09% of their portfolio PARIS, I0 1,925,7431.9m $84.6m $84.6m 0.09% Added +1.2m +1,210,813
10 Blue Trust, Inc. 1.01% of their portfolio BRENTWOOD, TN 1,464,6121.5m $73.3m $73.3m 1.01% Reduced -25.0k -24,983
11 D. E. Shaw & Co., Inc. 0.09% of their portfolio New York, NY 1,414,7131.4m $62.2m $62.2m 0.09% Added +774.3k +774,315
12 JANE STREET GROUP, LLC 0.06% of their portfolio NEW YORK, NY 1,355,3371.4m $59.6m $59.6m 0.06% Added +579.3k +579,282
13 CITADEL ADVISORS LLC 0.05% of their portfolio MIAMI, FL 1,256,7171.3m $55.2m $55.2m 0.05% Reduced -706.4k -706,386
14 UBS Group AG 0.02% of their portfolio ZURICH, V8 1,241,5241.2m $54.6m $54.6m 0.02% Reduced -460 -460
15 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 1,152,0471.2m $50.6m $50.6m 0.01% Added +309.6k +309,641
16 TOTAL INVESTMENT MANAGEMENT INC 6.62% of their portfolio SCOTTSDALE, AZ 1,145,3811.1m $50.3m $50.3m 6.62% Added +15.2k +15,222
17 COMMONWEALTH EQUITY SERVICES, LLC 0.07% of their portfolio WALTHAM, MA 955,883955.9k $42.0m $42.0m 0.07% Reduced -122.5k -122,515
18 OSAIC HOLDINGS, INC. 0.07% of their portfolio SCOTTSDALE, AZ 709,009709.0k $31.2m $31.2m 0.07% Reduced -299.9k -299,870
19 RAYMOND JAMES & ASSOCIATES 0.02% of their portfolio ST PETERSBURG, FL 693,052693.1k $30.5m $30.5m 0.02% Reduced -116.1k -116,130
20 Raymond James Financial Services Advisors, Inc. 0.03% of their portfolio ST. PETERSBURG, FL 553,143553.1k $24.3m $24.3m 0.03% Reduced -17.2k -17,154
21 Mariner, LLC 0.04% of their portfolio Overland Park, KS 513,621513.6k $22.6m $22.6m 0.04% Added +4.7k +4,716
22 Cresset Asset Management, LLC 0.09% of their portfolio Chicago, IL 469,546469.5k $20.6m $20.6m 0.09% Reduced -46.8k -46,790
23 Cambridge Investment Research Advisors, Inc. 0.08% of their portfolio FAIRFIELD, IA 469,491469.5k $20.6m $20.6m 0.08% Reduced -88.7k -88,687
24 Qube Research & Technologies Ltd 0.04% of their portfolio LONDON, X0 461,251461.3k $20.3m $20.3m 0.04% Added +359.0k +359,040
25 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.02% of their portfolio MILWAUKEE, WI 397,906397.9k $17.5m $17.5m 0.02% Reduced -28.0k -28,016
26 HighTower Advisors, LLC 0.03% of their portfolio CHICAGO, IL 393,767393.8k $17.3m $17.3m 0.03% Reduced -212.7k -212,659
27 McCarthy & Cox 5.69% of their portfolio MARYSVILLE, OH 337,257337.3k $14.8m $14.8m 5.69% Added +9.6k +9,601
28 Private Advisor Group, LLC 0.10% of their portfolio MORRISTOWN, NJ 334,998335.0k $14.7m $14.7m 0.10% Added +16.5k +16,542
29 Cetera Investment Advisers 0.03% of their portfolio SCHAUMBURG, IL 322,878322.9k $14.2m $14.2m 0.03% Reduced -6.6k -6,574
30 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 312,341312.3k $13.7m $13.7m 0.00% Reduced -30.4k -30,388
31 COWEN AND COMPANY, LLC 0.34% of their portfolio NEW YORK, NY 275,950275.9k $12.1m $12.1m 0.34% Added +251.9k +251,918
32 Ascension Capital Advisors, Inc. 6.30% of their portfolio Houston, TX 269,812269.8k $11.9m $11.9m 6.30% Added +8.9k +8,949
33 Venture Visionary Partners LLC 0.52% of their portfolio Sylvania, OH 254,586254.6k $11.2m $11.2m 0.52% Reduced -3.6k -3,630
34 Brookstone Capital Management 0.17% of their portfolio WHEATON, IL 211,252211.3k $10.2m $10.2m 0.17% Reduced -54.7k -54,710
35 Walleye Capital LLC 0.10% of their portfolio NEW YORK, NY 211,032211.0k $9.3m $9.3m 0.10% Reduced -338.6k -338,628
36 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 207,669207.7k $9.4m $9.4m 0.00% Reduced -2.2k -2,240
37 Baird Financial Group, Inc. 0.02% of their portfolio MILWAUKEE, WI 203,524203.5k $8.9m $8.9m 0.02% Reduced -17.3k -17,267
38 Clear Street Derivatives LLC 0.14% of their portfolio NEW YORK, NY 198,598198.6k $8.7m $8.7m 0.14% Added +174.1k +174,082
39 GERBER, LLC 6.85% of their portfolio COLUMBUS, OH 198,204198.2k $8.7m $8.7m 6.85% Reduced -15.7k -15,660
40 STATE OF WISCONSIN INVESTMENT BOARD 0.02% of their portfolio MADISON, WI 192,368192.4k $8.5m $8.5m 0.02% Reduced -1.1k -1,132
41 Kestra Advisory Services, LLC 0.04% of their portfolio AUSTIN, TX 180,822180.8k $7.9m $7.9m 0.04% Added +21.7k +21,721
42 Wealthfront Advisers LLC 0.03% of their portfolio Palo Alto, CA 179,777179.8k $7.9m $7.9m 0.03% Reduced -2.6k -2,607
43 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.02% of their portfolio PLYMOUTH, MN 175,659175.7k $7.7m $7.7m 0.02% Added +11.7k +11,727
44 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 172,433172.4k $7.6m $7.6m 0.01% Added +5.2k +5,160
45 Corient Private Wealth LP 0.01% of their portfolio MIAMI, FL 143,072143.1k $6.3m $6.3m 0.01% Reduced -25.2k -25,245
46 TITLEIST ASSET MANAGEMENT, LLC 0.90% of their portfolio SAN ANTONIO, TX 135,452135.5k $6.0m $6.0m 0.90% Reduced -5.8k -5,769
47 Tower Research Capital LLC (TRC) 0.09% of their portfolio NEW YORK, NY 125,488125.5k $5.5m $5.5m 0.09% New
48 Strategic Family Wealth Counselors, L.L.C. 2.05% of their portfolio FAIRFIELD, NJ 122,562122.6k $5.4m $5.4m 2.05% Reduced -2.8k -2,761
49 INDEPENDENT FINANCIAL GROUP, LLC 0.21% of their portfolio SAN DIEGO, CA 122,117122.1k $5.4m $5.4m 0.21% Reduced -23.3k -23,251
50 One Charles Private Wealth Services, LLC 2.17% of their portfolio HINGHAM, MA 118,438118.4k $5.2m $5.2m 2.17% Reduced -5.4k -5,407
51 NewEdge Advisors, LLC 0.04% of their portfolio NEW ORLEANS, LA 115,319115.3k $5.1m $5.1m 0.04% Reduced -19.5k -19,479
52 CWM, LLC 0.02% of their portfolio OMAHA, NE 114,425114.4k $5.0m $5.0m 0.02% Added +623 +623
53 OneDigital Investment Advisors LLC 0.06% of their portfolio OVERLAND PARK, KS 113,153113.2k $5.0m $5.0m 0.06% Added +104.6k +104,614
54 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 113,031113.0k $5.0m $5.0m 0.02% Reduced -39.1k -39,120
55 KESTRA PRIVATE WEALTH SERVICES, LLC 0.10% of their portfolio AUSTIN, TX 109,059109.1k $4.8m $4.8m 0.10% Added +3.7k +3,683
56 SkyOak Wealth, LLC 1.11% of their portfolio SOUTHFIELD, MI 108,041108.0k $4.7m $4.7m 1.11% Reduced -1.1k -1,065
57 KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC 0.01% of their portfolio LOS ANGELES, CA 99,85399.9k $4.4m $4.4m 0.01% Reduced -285.6k -285,649
58 Apella Capital, LLC 0.19% of their portfolio WEST HARTFORD, CT 93,05493.1k $4.3m $4.3m 0.19% Reduced -20.4k -20,363
59 Clearwater Capital Advisors, LLC 0.40% of their portfolio HOFFMAN ESTATES, IL 85,34385.3k $3.8m $3.8m 0.40% Reduced -54.2k -54,235
60 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 83,36483.4k $3.7m $3.7m 0.01% Reduced -51.0k -51,028
61 INTEGRAL INVESTMENT ADVISORS, INC. 1.32% of their portfolio TURLOCK, CA 81,39381.4k $3.6m $3.6m 1.32% Added +10.3k +10,292
62 Verition Fund Management LLC 0.03% of their portfolio GREENWICH, CT 78,44378.4k $3.4m $3.4m 0.03% Unchanged
63 MERCER GLOBAL ADVISORS INC /ADV 0.01% of their portfolio DENVER, CO 76,58376.6k $2.2m $2.2m 0.01% Added +48.4k +48,391
64 Axiom Advisory, LLC 0.04% of their portfolio SAN DIEGO, CA 75,60075.6k $3.4m $3.4m 0.04% New
65 TUDOR INVESTMENT CORP ET AL 0.04% of their portfolio STAMFORD, CT 75,00075.0k $3.3m $3.3m 0.04% Added +20.0k +19,981
66 IHT Wealth Management, LLC 0.11% of their portfolio Chicago, IL 70,11470.1k $3.1m $3.1m 0.11% Reduced -7.6k -7,616
67 ELEVATION POINT WEALTH PARTNERS, LLC 0.24% of their portfolio DENVER, CO 69,28869.3k $3.0m $3.0m 0.24% Added +2.2k +2,225
68 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 68,70068.7k $3.0m $3.0m 0.00% Reduced -1.2k -1,218
69 TRUE Private Wealth Advisors 0.34% of their portfolio Salem, OR 68,01968.0k $3.0m $3.0m 0.34% Reduced -3.3k -3,320
70 SCOTIA CAPITAL INC. 0.02% of their portfolio TORONTO, A6 67,67367.7k $3.0m $3.0m 0.02% Reduced -4.3k -4,260
71 Advisory Services Network, LLC 0.06% of their portfolio ATLANTA, GA 67,35667.4k $3.0m $3.0m 0.06% Added +3.4k +3,379
72 Madison Park Capital Advisors, LLC 2.46% of their portfolio SEATTLE, WA 66,92866.9k $2.9m $2.9m 2.46% Added +19.2k +19,187
73 PFG Advisors 0.20% of their portfolio Phoenix, AZ 66,40466.4k $2.9m $2.9m 0.20% Reduced -19.3k -19,326
74 Atria Wealth Solutions, Inc. 0.03% of their portfolio NEW YORK, NY 64,16764.2k $2.8m $2.8m 0.03% Reduced -10.3k -10,324
75 AXXCESS WEALTH MANAGEMENT, LLC 0.08% of their portfolio CARLSBAD, CA 63,91663.9k $2.8m $2.8m 0.08% Reduced -6.6k -6,620
76 Smith Anglin Financial, LLC 0.28% of their portfolio DALLAS, TX 62,80362.8k $2.8m $2.8m 0.28% Reduced -4.7k -4,706
77 Sovereign Investment Advisors, LLC 1.23% of their portfolio PHOENIX, AZ 62,72862.7k $3.3m $3.3m 1.23% Unchanged
78 FOUNDERS FINANCIAL SECURITIES LLC 0.26% of their portfolio TOWSON, MD 62,14062.1k $2.7m $2.7m 0.26% Added +2.4k +2,442
79 Horizon Investments, LLC 0.07% of their portfolio Charlotte, NC 61,69461.7k $2.7m $2.7m 0.07% Added +2.1k +2,125
80 ARBOR CAPITAL MANAGEMENT INC /ADV 2.43% of their portfolio ANCHORAGE, AK 59,64259.6k $2.7m $2.7m 2.43% Reduced -975 -975
81 American Financial Advisors, LLC 0.36% of their portfolio Marietta, GA 57,64457.6k $2.5m $2.5m 0.36% Reduced -110.2k -110,221
82 Stratos Wealth Partners, LTD. 0.04% of their portfolio BEACHWOOD, OH 56,69756.7k $2.5m $2.5m 0.04% Reduced -12.9k -12,877
83 Yarbrough Capital, LLC 0.10% of their portfolio FRANKLIN, TN 56,17656.2k $2.5m $2.5m 0.10% Unchanged
84 Crescent Grove Advisors, LLC 0.26% of their portfolio LAKE FOREST, IL 54,52954.5k $2.4m $2.4m 0.26% Reduced -41.5k -41,456
85 Jefferies Financial Group Inc. 0.05% of their portfolio NEW YORK, NY 54,36554.4k $2.4m $2.4m 0.05% Reduced -45.0k -45,000
86 TD Waterhouse Canada Inc. 0.02% of their portfolio TORONTO, A6 53,62953.6k $2.4m $2.4m 0.02% Reduced -55 -55
87 Parkwood LLC 0.29% of their portfolio CLEVELAND, OH 53,30053.3k $2.3m $2.3m 0.29% Unchanged
88 Kingsview Wealth Management, LLC 0.06% of their portfolio GRANTS PASS, OR 53,27453.3k $2.3m $2.3m 0.06% Reduced -481 -481
89 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 49,82549.8k $2.2m $2.2m 0.01% Reduced -40.4k -40,374
90 Sanctuary Advisors, LLC 0.02% of their portfolio INDIANAPOLIS, IN 47,99948.0k $2.1m $2.1m 0.02% First filing
91 Relyea Zuckerberg Hanson LLC 0.35% of their portfolio STAMFORD, CT 47,71147.7k $2.1m $2.1m 0.35% Reduced -19.8k -19,791
92 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 47,47247.5k $2.1m $2.1m 0.01% Reduced -10.4k -10,353
93 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 47,13047.1k $2.1m $2.1m 0.00% Reduced -9.1k -9,107
94 BLAIR WILLIAM & CO/IL 0.01% of their portfolio CHICAGO, IL 46,77346.8k $2.1m $2.1m 0.01% Reduced -1.6k -1,609
95 Dynamic Advisor Solutions LLC 0.06% of their portfolio PHOENIX, AZ 46,14846.1k $2.0m $2.0m 0.06% Added +861 +861
96 Swisher Financial Concepts, Inc. 2.08% of their portfolio WESTERVILLE, OH 45,84845.8k $2.1m $2.1m 2.08% Added +32 +32
97 DHK Financial Advisors, Inc. 1.58% of their portfolio PORTSMOUTH, NH 45,16045.2k $2.3m $2.3m 1.58% Unchanged
98 Balyasny Asset Management L.P. 0.01% of their portfolio Chicago, IL 44,86444.9k $2.0m $2.0m 0.01% Added +22.2k +22,222
99 HBW ADVISORY SERVICES LLC 0.33% of their portfolio SIMI VALLEY, CA 44,84244.8k $2.0m $2.0m 0.33% Reduced -13.0k -12,992
100 GROUP ONE TRADING LLC 0.06% of their portfolio CHICAGO, IL 44,04344.0k $1.9m $1.9m 0.06% Reduced -151.0k -151,048